Ernest J. Skipper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ernest John Skipper II was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1976. Ernest had worked at 9 firms and has passed the Series 63 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 1989 - September 19, 1990
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
October 17, 1988 - October 5, 1989
BRYAN, WORLEY & CO., INC.
March 17, 1988 - September 20, 1988
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
June 4, 1984 - September 1, 1987
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
March 14, 1984 - May 17, 1984
PARK, RYAN, INC.
March 1, 1983 - December 1, 1983
PARK, RYAN OF TENNESSEE, INC.
July 15, 1981 - March 2, 1983
MUNICIPAL SECURITIES, INCORPORATED
November 2, 1979 - April 16, 1981
MUNICIPAL SECURITIES, INCORPORATED
June 6, 1978 - June 16, 1980
STEWART-JOHNS MUNICIPAL SECURITIES, INC.
October 26, 1977 - June 12, 1978
TRANSAMERICAN SECURITIES, INC.
February 9, 1976 - June 23, 1977
G. WEEKS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 40
Date: 11/21/1976
Registered Principal ExaminationCurrent Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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